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Showing 621 to 630 of 776 search results for enforcement.
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FCA fines Stonebridge International Insurance Limited £8.4m in relation to sales of insurance policies
Tracey McDermott, FCA director of enforcement and financial crime said:. "Customers are entitled to expect firms to provide them with fair and balanced information to enable them to make the right -
Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings
Tracey McDermott, the FCA’s director of enforcement and financial crime, said:. ... Our enforcement actions are an important source of information to help them do this.”. -
FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives
Tracey McDermott, the FCA’s director of Enforcement and Financial crime, said:. ... The Group was referred to the FCA’s Enforcement Division following a risk assessment in May 2012 and the FCA’s predecessor the Financial Services Authority (FSA) -
Sustainability
Speech by Tracey McDermott, Director of Enforcement and Financial Crime, the FCA, at the Thomson Reuters Compliance & Risk Summit, London. ... An enforcement action about mis-selling high risk unregulated collective investment schemes (UCIS) products is -
FCA publishes Final Notice for Ian Hannam and confirms a financial penalty of £450,000
Tracey McDermott, the FCA’s director of Enforcement and Financial crime, said:. -
FCA publishes results of thematic reviews into enhanced transfer values and SIPP operators
The FCA have already required several firms to limit their business as part of the thematic review and in some cases have initiated enforcement investigation. -
FCA and PRA publish detailed Terms of Reference for the HBOS Review
It was not appropriate to launch a wider review until the conclusion of enforcement proceedings. -
Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures
Tracey McDermott, FCA’s director of enforcement and financial crime said:. "It is crucial that firms consider the needs of their customers from the time that products are being designed through -
The technology challenge
Speech by Martin Wheatley, CEO, the FCA, at Lansons, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Regulating high frequency trading
Speech by Martin Wheatley, CEO, the FCA, at the Global Exchange and Brokerage Conference, New York. This is the text of the speech as drafted, which may differ from the delivered version.